UNDERGRADUATION THESIS Topic PERSONAL AUTHENTICATION BY SINGLE-CHANNEL ECG SIGNALS

HANOI UNIVERSITY OF SCIENCE AND TECHNOLOGY SCHOOL OF ELECTRONICS AND TELECOMMUNICATIONS UNDERGRADUATION THESIS Topic: PERSONAL AUTHENTICATION BY SINGLECHANNEL ECG SIGNALS Student: VU THI MINH Biomedical Engineering Class Advanced Program – Course 58 Supervisor: Dr NGUYEN VIET DUNG Argue Officer: Hanoi, 1-2019 Thesis Assessment (For Supervisor) Supervisor: Nguyen Viet Dung Student: Vu Thi Minh Student ID: 20132625 Subject: Personal authentication by single- channel ECG signals Choose the appropriate scores for students following the criteria below: Very poor (1); Poor (2); Average (3); Good (4); Excellent (5) 10a 10b 10c The combination of theory and practice (20) Clearly state the urgency and importance of the subject, the problems and assumptions (include purposes and relevance) as well as the scope of application of the thesis Update the latest research results (national/international) Clearly state the study/problem solving methodology in detail Have stimulation/experimental results and describe obtained results in detail Ability to analyze and evaluate the results (15) Clear working plan, including objectives and methodology based on systemically theoretical study results Results are presented logically and easy to understand; all results are satisfactorily analyzed and assessed In conclusion section, author specifies the differences (if any) between the results obtained and the initial objectives while providing arguments to propose possible solutions in the future Writing skill (10) The thesis is presented on a prescribed format with logical and nice structure of chapters (Tables, F igures are clear with captions, are numbered and explained or mentioned in the thesis; has alignments, has spaces after full stops and commas, etc.), has chapter introductions and conclusions, listed references and citations following regulations Excellent writing skill (right syntax, scientific style, logical reasoning, appropriate vocabularies, etc.) Science research achievements (5) (choose in options) Had the published or accepted scientific articles/3rd prize at School level at student science research conference or higher/3rd scientific prize (international/national) or higher/registered patents Reported at School-level board in student science research rd conference but not achieved prize or higher/Achieved consolation prize at other nationally or internationally specialized competitions such as TI contest No achievement in science research activity Total score 2 3 4 5 5 5 5 /50 Total score on scale of 10 Other comments of instructor (Instructor comments on student’s work attitude and spirit) Date: …./… /2019 Supervisor (Signature & full name) Thesis Assessment (For Argue Officer) Argue Officer: …………………………… Student: Vu Thi Minh Student ID: 20132625 Subject: Personal authentication by single- channel ECG signals Choose the appropriate scores for students following the criteria below: Very poor (1); Poor (2); Average (3); Good (4); Excellent (5) 10a 10b 10c The combination of theory and practice (20) Clearly state the urgency and importance of the subject, the problems and assumptions (include purposes and relevance) as well as the scope of application of the thesis Update the latest research results (national/international) Clearly state the study/problem solving methodology in detail Have stimulation/experimental results and describe obtained results in detail Ability to analyze and evaluate the results (15) Clear working plan, including objectives and methodology based on systemically theoretical study results Results are presented logically and easy to understand; all results are satisfactorily analyzed and assessed In conclusion section, author specifies the differences (if any) between the results obtained and the initial objectives while providing arguments to propose possible solutions in the future Writing skill (10) The thesis is presented on a prescribed format with logical and nice structure of chapters (Tables, Figures are clear with captions, are numbered and explained or mentioned in the thesis; has alignments, has spaces after full stops and commas, etc.), has chapter introductions and conclusions, listed references and citations following regulations Excellent writing skill (right syntax, scientific style, logical reasoning, appropriate vocabularies, etc.) Science research achievements (5) (choose in options) Had the published or accepted scientific articles/3rd prize at School level at student science research conference or higher/3rd scientific prize (international/national) or higher/registered patents Reported at School-level board in student science research rd conference but not achieved prize or higher/Achieved consolation prize at other nationally or internationally specialized competitions such as TI contest No achievement in science research activity Total score 2 3 4 5 5 5 5 /50 Total score on scale of 10 Other comments of argue officer (Argue officer comments on student’s work attitude and spirit) Date: …./… /2019 Argue officer (Signature & full name) ACKNOWLEDGMENTS Biometrics refers to the recognition of individuals based on physiological or behavioral characteristics Biometric traits include the retina, face, iris, fingerprints, and voice Through these information sources, various methods can recognize individuals However, some limitations of these technologies lead to require higher security The electrocardiogram (ECG) is one of the most commonly known biological signals ECG involves information about the structural and functional cardiac muscle activities, and it is a simple and effective representative of a noninvasive diagnostic method Every individual has characteristic ECG features Therefore, such signals provide strong protection against forgery Recently, more research has focused on extracting ECG features with different method in available database have high accuracies In the thesis, a goal is to extract more suitable features with signals, which are acquired from Kardia Mobile device, thus, identifying individuals I wish to express my sincere thanks to my instructor Dr Nguyen Viet Dung for his devoted guidance and supervision This practice would not have been completed without his care and dedication in constructively criticizing my work I also wish to express my sincere thanks to the lecturers in School of Electronics and Telecommunications as well as in Hanoi University of Science and Technology who have taught me countless useful knowledge Finally, I special thanks goes to my parents and other family members, who have unconditionally given me all of their support on all fronts They inspired and gave me strengths to finish this work Hanoi, January 2th 2019 Student Vu Thi Minh ABSTRACT Biosignals contain useful information that can be used to identify individuals beside applications in medical Biological signals can be classified according to various characteristics of the signal, including the waveform shape, statistical structure, and temporal properties Biosignals can prevent to falsify from physical features in biometrics such as face, fingerprint, iris, etc An Electrocardiogram (ECG) measures and records the electrical activity that passes through the heart In this study, I researched single- channel electrocardiogram (ECG) signal which is got from a device named Kardia mobile designed by AliverCor company and has medical standards certification from FDA A feature set extracted based on the association between Discrete Wavelet Transform (DWT) and Statistic data was propounded and Support Vector Machine (SVM) was exerted for ECG classification Results show that my method achieves approximately 87.5% for data that I collected However, the amount of data used for training is limited ABSTRACT Tín hiệu sinh học chứa thơng tin hữu ích sử dụng để xác định cá nhân bên cạnh ứng dụng y tế Tín hiệu sinh học phân loại theo đặc tính khác tín hiệu, bao gồm dạng sóng, cấu trúc thống kê tính chất thời gian Tín hiệu sinh học ngăn ngừa việc làm giả đặc điểm vật lý sinh trắc học khuôn mặt, dấu vân tay, mống mắt, v.v Điện tâm đồ (ECG) đo ghi lại hoạt động điện qua tim Trong nghiên cứu này, nghiên cứu tín hiệu điện tim đơn kênh (ECG) lấy từ thiết bị có tên Kardia mobile cơng ty AliverCor thiết kế có chứng nhận tiêu chuẩn y tế từ FDA Một tính trích xuất dựa liên kết biến đổi Wavelet rời rạc (DWT) liệu thống kê đưa máy vector hỗ trợ (SVM) sử dụng để phân loại ECG Kết cho thấy phương pháp đạt xấp xỉ 87.5% liệu mà thu thập Tuy nhiên lượng liệu sử dụng bị hạn chế CONTENTS ACKNOWLEDGMENTS .6 ABSTRACT LIST OF FIGURES .11 LIST OF ACRONYMS 14 CHAPTER 1: FUNDAMENTAL BACKGROUND INFORMATION 16 1.1 Biometrics authentication 16 1.1.1 Types of biometrics 16 1.1.2 Basic components of biometric system 25 1.1.3 Some criteria of biometrics 25 1.2 Electrocardiography (ECG/ EKG) 26 1.2.1 Definition 26 1.2.2 ECG waveform 27 1.2.3 Different noise in ECG signals 31 1.3 Wavelet Transform (WT) and Discrete Wavelet Transform (DWT) 33 1.3.1 Fundamental Concepts and Overview of Wavelet Transform 33 1.3.2 Multi-resolution Analysis and Continuous Wavelet Transform 38 1.3.3 Multi-resolution Analysis: Discrete Wavelet Transform 43 1.3.4 Wavelet families 50 1.4 Statistics data 58 1.5 Machine learning (ML) 59 1.5.1 Types of machine learning 59 1.5.2 Support Vector Machine (SVM) 61 1.5.3 K- nearest neighbor (KNN) .69 CHAPTER SIGNAL PREPARATION 74 2.1 ECG Acquisition 74 2.1.1 ECG Recording equipment: Kardia mobile 74 2.1.2 Web plot digitizer 76 2.2 Experiment set up 78 CHAPTER 3: DESIGNING ECG BASED PERSONAL AUTHENTICATION SYSTEM 81 3.1 Block diagram .81 3.1.1 Pre-processing .81 3.1.2 Feature extraction Algorithm from DWT using Daubechies wavelet 83 3.1.3 Classification 86 3.2 Results and Discussion 87 CONCLUSION .91 10 3.1.1 Pre-processing First of all, for each data, I cut it into segment from 20s to 50s After that, these segments are filtered The purpose of signal pre-processing is to reduce noise and unnecessary samples The low-frequency cutoff (high-pass filter) was set at 0.05 and 0.5 Hz Low-pass filters were set at 40, 100, and 150 Hz (high-frequency cutoff).Thus, there are several filter configurations: 0.05–40 Hz, 0.5–40 Hz, 0.05– 100 Hz, 0.5–100 Hz, 0.05–150 Hz, and 0.5–150 Hz [36] However, according to device manual the manufacturer used enhanced filter with cut off frequency 0.5 and 40 Hz Thus, I still used the same filter configuration The signal will remove baseline wander noise and power line wander Because the acquire signals are pre-processing by manufacturer, I tested constructing histogram of the original signal and the reconstructed signal by using DWT (Figure 3.2) It is very clear that two histograms are nearly same Thus, I will not reconstruct signals to remove the other noise Figure 3.2 Histogram of origin signal (above) and synthesis signal (below) 82 3.1.2 Feature extraction Algorithm from DWT using Daubechies wavelet The purpose of this section is extract features contains original ECG Feature extraction is a dimensionality reduction process, where an initial set of raw variables is reduced to more features for processing, while still accurately and completely describing the original data set In previous researches, P Sasikala et al used Daubechies to detect QRS complex, T wave and P wave [37] The method of M P Nageswari et al is two types of feature extraction: Morphological (R-R peak) and Statistical data ( Mean, Kurtosis, Skewness) [39] Woo- Huyk J et al used window removal method for ECG Identification with high accuracy ( 95.23%) [42] Wavelet selection Biomedical signals typically consist of short-duration high-frequency components spaced in time, which are accompanied by long-duration lowfrequency components spaced in frequency Wavelets are considered suitable for analyzing such signals because they have good frequency resolution along with finite time resolution The choice of wavelet depends upon the type of signal to be analyzed The wavelet similar to the signal is usually selected Among the existing wavelet approaches, (continuous, dyadic, orthogonal, biorthogonal), I use real dyadic Wavelet Transform because of its good temporal localization properties and its fast calculations [37] Daubechies (Db4) (Figure 3.3) and Daubechies (Db6) (Figure 3.4) of Daubechies family are similar in shape to QRS complex and their energy spectrum is concentrated around low frequencies [37-41] In this thesis, Db4 is chosen to for extracting features because it has the more similar shape than Db6 83 Figure 3.3 Daubechies wavelet Figure 3.4 Daubechies wavelet This first decomposes ECG signals into several sub bands by using Db4 with  level 4 as a tree in Figure 3.5.  The process of wavelet decomposition down samples the signal, that essentially means taking the samples at a much lower frequency than the original signal Therefore, details are reduced and QRS complex is preserved 84 Figure 3.5 Frequency components of each decomposition level and the The node ‘s’ is original signal band. The yellow nodes are lowpass filters, and  the blue nodes are highpass filters. Through each level, signal will have less number of samples than the actual signal due to downsampling 2n ( n is level) compared original signal 2nd level has exactly half number of samples that of 1st level, 3rd level has exactly half number of samples than the 2nd level Moreover, the frequencies also decomposed that are shown in Figure 3.5 Detect R peak in the down sampled signals The process of wavelet decomposition down samples the signal,which essentially means taking the samples at a much lower frequency than the original signal Therefore, details are reduced and QRS complex is preserved Once R peak is detected in 3rd level reconstructed signal, it must be cross validated in the actual signal First of all, find the values which are greater than 60% of the max value of the decomposed signal Invariably these are R peaks As the decomposed signals are noise free signals, First R peak needs to be detected in the noise free signal However, the ultimate goal is to detect the Peak in the original Signal The sample 85 values in Original Signal will be different than the decomposed signal Thus, my strategy here will be to first detect the R peaks in the down sampled signal than cross verify those points the actual signal Because of noise or higher amplitude T waves can be falsely detected as R wave In order to avoid this, minimum interval is choose for subsequent R wave occurrence below which spurious R wave is eliminated After that, detect R peaks in original signal Map R location in decomposed signal with R location in original by multiplying with decomposing level R amplitudes are defined corresponding to R locations Detect the P, Q, R, S, T peaks with reference to R peaks From R-Peak, search for Minima and Maxima, these are P, Q, T, S peaks respectively So loop in R-location and search for the other peaks Because of available intervals between R peaks and other peaks, Minima and Maxima are calculated The left points are P peaks and Q peaks The right points are S peaks and T peaks Although ECG segments have the same time, the heartbeats of each data may be different Thus, I calculate mean value of amplitudes of each peak types Moreover, mean value, mean absolute deviation, standard deviation, median are calculated with all segments to increase accuracy higher After that, label features into two class: not A and A where A is person needed to authenticate 3.1.3 Classification For the classification process, support vector machine (SVM) is utilized as its better generalizing capabilities and it is common used technique for ECG classification In nonlinear SVM model, input data is mapped into a high dimensional featured space that can be linearly separated SVM model finds the 86 best hyper-plane that can separate all data points of one class from those of the other class During training process, SVM simultaneously maximizes classification performance while minimizing the possibility of over fitting with specified data set In our classification problem, I trained SVM classifier with the 120 dataset as describe above section with the choosing ratios train/test are equal to 90/10, 80/20, 70/30, 60/40 There are four steps in classification listed in below - Open Classification Learner App - Input features - Choose types of SVM that have best accuracy by choose ‘all SVM’ - Change ratio train/ test to find the most accurate result 3.2 Results and Discussion - Preprocessing: band- pass filter [0.5- 50 Hz] Figure 3.6 Signal and power spectrum before and after filtering It is clearly to recognize that signal after filtering is smoother than original signal Thus, noises from digitizer process are removed 87 - Features: I decompose signals using Db4 at level Figure 3.6 shows the coefficient of signal at levels The frequency bands are separated and ca1, ca2, ca3 and ca4 are cleaner signal However, clearly the number of samples is reduced level Cd4 coefficient does not describe peaks clearly, that is demonstrated the original signal is less noises Figure 3.7 Reconstructed signal level 1, 2, 3, My method is applied to 120 train databases that I experimented Eleven features are meanR, meanP, meanQ, meanS, mean, mean value, median value, MAD, skewess , kurtosis and SD Hence, the total of features is 1320 - Classification: Support Vector Machine I divide 120 data into two group that ratios train/test are equal to 90/10, 80/20, 70/30, 60/40 After I investigate with the above ratios between train and test and use all SVM methods, I realize Medium Gaussian SVM and Weighted KNN have the best results The accuracy based on tool in MATLAB which will random the number test sample in model are shown in the following table: 88 Table 3.1 Investigation the accuracy with rations test / train Classification Train SVM 99.1% KNN 100% 10/90 Validate 20/80 30/70 40/60 90.9 % 90.9 % 91.3 % 91.3 % 93.5 % 91.3 % 94.3 % 97.1 % Table 3.1 indicates that the ratio test/ train 30/70 will have the best results Therefore, I used this ratio to classify in actual signals In order to verify the result, I continued to carry out the actual survey by checking random 32 new samples, which not belonging the trained model In which, 16 samples are A objects, and the rest is others to know how much accuracy, FRR and FAR in case test/train ratio equal 30/70 and extract model Medium Gaussian and Weighted KNN with highest accuracy that we investigated in Table 3.2 and 3.3 Table shown the results from MATLAB tool about Training and Testing Table 3.2 The actual results in survey SVM KNN A 16 13 Right Wrong Right Wrong Not A 12 12 Table 3.3 The actual accuracy, FAR, FRR in survey Trial Accuracy (%) FAR FRR SVM 87.50 % 0.125 0.000 KNN 78.13 % 0.125 0.094 From the results of Table 3.3, the FAR and FFR of SVM are not close, thus, the authenticated results are not good The accuracy is approximately 87.5% This value is not feasible for a biometric 89 Based on some results I have done, I have some evaluation as well as comment The accuracy changes in different classifications, and it is not really high There are many reasons causing this problem, and affect to the result Firstly, the obtained data are not got directly from device I digitized them in software, thus, the data may be not exactly although the sample rate is higher than the one in device Because reconstructing signals, the interval between waves cannot suitable for this data The other reason is that the step I used in the method cannot optimal for this data 90 CONCLUSION Biometrics refers to metrics related to human characteristics Biometrics is a realistic authentication used as a form of identification and access control It is also used to identify individuals in groups that are under surveillance Biometric identifiers are then measurable, distinctive characteristics used to label and describe individuals Biometric authenticators are frequently labeled as behavioral as well as physiological characteristics Physiological characteristics are related to the shape of the body By utilizing biometrics a man could be distinguished in view of "who she/he is" instead of "what she/he has" (card, token, scratch) or "what she/he knows" (secret key, PIN).In my thesis, I research about parameters of ECG signals, focus on features of ECG signals After that, these data will be processed to serve biometrics In my method, I found the features as waves of ECG signal, and the accuracy is not really high (87.5%) compared to published paper (about 98- 100%) In the future work, I will research the suitable extract features for this data and compare to available data from Physionet 91 REFERENCES [1] https://www.gemalto.com/govt/inspired/biometrics [2] Srivastava HA (2013) Comparison Based Study on Biometrics for Human Recognition IOSR Journal of Computer Engineering (IOSR-JCE) 15: 22-29 [3] Duarte T (2016) Biometric 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